Maryland Business Law & Corporate Litigation Blog

Four Impacts of the DOL Fiduciary Rule

Baltimore Commerical Litigation Attorneys

On June 9, 2017, the Department of Labor implemented its Fiduciary Rule. The Rule expands the “investment advice fiduciary” definition under the Employee Retirement Income Security Act of 1974 (ERISA). The DOL’s definition of a fiduciary requires advisors to act…

FINRA Announces NAC Revisions to Sanction Guidelines

  • May 3, 2017
  • heyman
NAC FINRA advisor

The Financial Industry Regulatory Authority (FINRA) is an independent regulatory body in charge of overseeing the practices and activities of covered financial firms, brokers, and other parties. National Adjudicatory Council (NAC) is FINRA’s main appellate tribunal. NAC is comprised of…

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